Regulatory Reporting Expert

3 days ago


New York, New York, United States Tandym Group Full time

A leading financial services firm in New York City is seeking an experienced professional to fill the role of Head of Regulatory Reporting Swap Dealer. The ideal candidate will have significant experience in regulatory compliance, specifically within the swap dealer and OTC derivatives businesses.

Job Description:

The successful candidate will be responsible for establishing, maintaining, and developing the company's swap dealer financial and regulatory reporting framework. This includes ensuring compliance with all relevant regulations, overseeing daily and monthly filings, and assisting with the analysis and review of financial statements.

Key Responsibilities:

  • Ensure compliance with CFTC and NFA regulations
  • Oversee daily capital computations, position, margin, and counterparty reports
  • Assist with monthly analysis and review of balance sheet and income statement
  • Evaluate new products and business initiatives from a regulatory finance perspective
  • Develop and enhance existing processes, including automation efforts
  • Create and maintain process documentation
  • Act as financial point person on regulatory examinations

Qualifications:

  • 10+ years of work experience in regulatory compliance or a related field
  • Bachelor's degree in Accounting and/or Finance
  • Strong knowledge of OTC derivatives and swap dealer businesses
  • Experience with implementation and execution of swap dealer regulatory functions

Estimated Salary: $150,000 - $200,000 per year


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